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U.S. Securities and Exchange Commission

                           SEC NEWS DIGEST

Issue 2007-234                                        December 6, 2007



The Commission announced the temporary suspension, pursuant to Section
12(k)  of  the  Securities Exchange Act of 1934 (the Exchange Act), of
trading  of  the  securities of Roanoke Technology, Corp. (Roanoke) of
Rocky  Mount,  North Carolina commencing at 9:30 a.m. EST on Thursday,
Dec. 6, 2007, and terminating at 11:59 p.m. EST on Wednesday, Dec. 19,

The  Commission  temporarily  suspended  trading  in the securities of
Roanoke  because  Roanoke  has failed to file certain periodic reports
with  the  Commission,  resulting  in  a  lack of current and accurate
information concerning the company.

The   Commission   cautions   brokers,   dealers,   shareholders,  and
prospective   purchasers  that  they  should  carefully  consider  the
foregoing   information  along  with  all  other  currently  available
information and any information subsequently issued by the company. 

Brokers and dealers should be alert to the fact that, pursuant to Rule
15c2-11  under  the  Exchange  Act,  at the termination of the trading
suspension,  no  quotation  may  be entered unless and until they have
strictly  complied  with  all  of  the  provisions of the rule. If any
broker  or  dealer  has  any  questions  as  to  whether or not he has
complied  with  the  rule,  he  should  not  enter  any  quotation but
immediately  contact  the  staff in the Division of Market Regulation,
Office  of  Interpretation  and  Guidance,  at  (202) 551-5760. If any
broker  or dealer is uncertain as to what is required by Rule 15c2-11,
he  should  refrain  from  entering  quotations  relating to Roanoke's
securities  until  such  time  as he has familiarized himself with the
rule  and  is certain that all of its provisions have been met. If any
broker  or  dealer  enters  any quotation which is in violation of the
rule,  the  Commission  will  consider the need for prompt enforcement

If  any  broker,  dealer or other person has any information which may
relate  to this matter, they should contact Glenn S. Gordon, Associate
Regional  Director, Division of Enforcement, Miami Regional Office, at
(305) 982-6360. (Rel. 34-56913)



On     December  5,  the  Commission  issued,  by  consent,  an  Order
Making  Findings  and  Imposing  a Cease-and-Desist Order and Remedial
Sanctions  Pursuant  to  Sections  15(b)  and  21C  of  the Securities
Exchange  Act  of  1934  (Order)  against  Winter  Park, Florida-based
broker-dealer  Park  Financial  Group,  Inc. (Park) and its principal,
Gordon C. Cantley.

The  Order  finds  that  from  February  2002  to  July 2003, Park and
Cantley aided  and  abetted  and  caused  a  fraudulent  pump-and-dump
scheme  involving  the  securities of Spear & Jackson, Inc. and failed
to  file  Suspicious  Activity  Reports  (SARs)  reporting  suspicious
transactions  that  were  part  of the pump-and-dump. Park and Cantley
neither   admitted  nor  denied  the  findings  in  the  Order,  which
marks  the  successful  resolution  of  the  Commission's  first  case
charging a broker-dealer with failing to fulfill its responsibility to
file SARS under the Bank Secrecy  Act.  

The  Order  finds  that  during  the  relevant  time  period,Park  and
Cantley  executed  numerous  trades  in Spear & Jackson stock forthree
companies located in the British Virgin Islands (BVI Companies), which
then-Spear & Jackson CEO Dennis Crowley secretly controlled. The order
finds Cantley and Park executed these trades despite obvious red flags
that they were suspicious. 

Specifically,  the  Order  finds  Cantley  and Park executed trades in
the  BVI  Companies'  accounts  on  oral  instructions  from  Crowley,
even  though:  they  knew  he  was  Spear  & Jackson's CEO; he was not
listed  as  an  authorized  signatory  on  any  of  the BVI Companies'
account    documents;    executing    the    trades    on    Crowley's
instructions    violated  both  Park's  written  operating  procedures
and  the  instructions of the BVI Companies requiring written approval
of  at  least  two authorized signatories for any transaction; and the
BVI  Companies'  accounts traded exclusively in Spear & Jackson stock.
Moreover, at the same time, the BVI Companies were transferring large 
amounts  of  Spear  &  Jackson  stock  to  a  stock  promoter actively
touting Spear & Jackson, and Spear & Jackson's stock price was sharply

The  Order  also  finds  Park,  aided and abetted by Cantley,failed to
report  suspicious  transactions  in  Spear  & Jackson stock by filing
SARs  with  the  Financial  Crimes  Enforcement Network as required by
regulations  implementing  the Bank Secrecy Act, as amended by the USA
Patriot  Act, which became effective December 31, 2002. 

The   Order  directs  Cantley  to  cease-and-desist  from  aiding  and
abetting  and  causing  violations  and  future violations of Sections
10(b) and 17(a) of  the Securities Exchange Act of 1934 (Exchange Act)
and  Rules  10b-5  and  17a-8  thereunder. The Order bars Cantley from
associating  with  any  broker or dealer with the right to reapply for
association   after   two   years.   Cantley   must   pay $8,429.71 in
disgorgement and prejudgment interest,  and a $25,000 civil penalty. 

As  to  Park,  the  Order  censures  the firm, directs it to cease and
desist  from  aiding  and  abetting  and causing violations and future
violations  of  Section  10(b)  of  the  Exchange  Act  and Rule 10b-5
thereunder,  and  from  committing  or  causing  violations and future
violations  of  Section  17(a)  of  the  Exchange  Act  and Rule 17a-8
thereunder. It also orders Park to pay $30,373.39 in disgorgement  and
prejudgment  interest, and a $50,000 civil penalty.

The  Commission previously obtained significant relief against Crowley
in  a  civil  injunctive  action  for  violations  of  the  antifraud,
registration  and reporting provisions of the federal securities laws.
Pursuant  to  a  settlement,  the United States District Court for the
Southern  District  of Florida ordered Crowley to pay disgorgement and
civil  penalties  in  excess of $6 million and imposed an officer-and-
director  bar,  a penny stock bar and a Form S-8 stock bar prohibiting
Crowley  from  owning  or receiving S-8 issued securities. Crowley did
not  admit or deny the Commission's allegations against him. (Rel. 34-
56902;  File  No. 3-12614)


On  December  6,the  Commission  issued  an  Order  Instituting Public
Administrative   Proceedings   Pursuant   to   Section   15(b)  of the
Securities  Exchange  Act  of  1934  (Order)  against  Mark  Michel, a
registered   representative   employed   at   Wachovia   Securities in
DeKalb,  Illinois.  The  Order  is  based  on the entry of a permanent
injunction  against  Michel's  future  violations  of Section 10(b) of
the Securities Exchange Act of 1934 (Exchange  Act)  and  Rule  10b-5 
stemming  from  findings  by  a  United  States District Judge that he
engaged in insider trading. 

The  Division  of  Enforcement alleges in the Order that Michel bought
$1.4      million  of  stock  for  himself,  his  relatives,  and  his
customers    in  Blue  Rhino  Corp.,  a  North  Carolina  propane  gas
distributor,  between  Jan.  30, 2004, and Feb. 6, 2004, while knowing
that  Blue  Rhino  was  engaged in merger negotiations. The merger was
publicly announced on Feb. 9, 2004.  

The  Division  also  alleges  that following a five-day bench trial in
October    2007,  the  judge  found  the  Commission  had  proved  the
allegations  of  its  complaint  and  that  Michel's  actions violated
Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Court
entered  a  permanent injunction against Michel and ordered him to pay
disgorgement  of  $277,881  and  pre-judgment  interest  of $68,307. 

A  hearing  will  be  scheduled  before  an  administrative  law judge
to determine  whether the allegations contained in the Order are true,
to   provide   the   Respondent   an   opportunity   to  dispute these
allegations,  and  to  determine  what, if any, remedial sanctions are
appropriate  and  in  the  public  interest.  The  Order  requires the
Administrative  Law  Judge  to  issue  an  initial  decision  no later
than  210  days  from  the  date  of  service  of the Order. (Rel. 34-
56915; File No. 3-12900)


The  Commission  announced  that  on  Nov. 19, 2007, the U.S. District
Court  for  the  Southern  District  of  Florida  entered Judgments of
Permanent  Injunction  and  Other Relief against Defendants Frances M.
LaBarre and Joseph Yurkin. The Judgments, entered with the consents of
LaBarre  and  Yurkin,  without  admitting  or  denying the Complaint's
allegations,  enjoin  them  from violations of Sections 5(a), 5(c) and
17(a)  of  the Securities Act of 1933 and Section 10(b) and Rule 10b-5
of  the Securities Exchange Act of 1934. The Judgments permanently bar
LaBarre  and  Yurkin  from  participating  in  a penny stock offering.
Additionally,     the  Judgments  provide  for  disgorgement  and  the
imposition of civil penalties in amounts to be determined by the Court
upon the Commission's motion.

The  Commission commenced this action by filing its complaint on Sept.
5,  2007,  against  LaBarre  and  Yurkin,  among  others, alleging the
defendants  violated  the registration and antifraud provisions of the
federal  securities laws. [SEC v. Homeland Communications Corporation,
et al., Case No. 07-80802-CIV-MARRA/JOHNSON (S.D. Fla.)] (LR-20384)


On December 3, a jury in Manhattan federal court returned a verdict in
favor  of the Commission finding a Long Island attorney and his father
liable  for  insider  trading in the stock of NBTY, Inc. In the action
SEC  v.  Mitchell  Drucker  et  al,  06  Civ.  1644  (SDNY)  (CM), the
defendants  are  Mitchell  S.  Drucker,  the  former associate general
counsel  of NBTY, a nutritional supplements manufacturer and retailer,
and  his  father,  Ronald  Drucker,  a  former  New  York  City police
detective. The Commission had charged that, while Mitchell Drucker was
a  lawyer  at  NBTY,  and  had learned that NBTY was about to announce
lower  than  expected quarterly earnings, he and his father sold their
holdings   of  NBTY  stock  just  before  the  negative  announcement.
Collectively,  the defendants avoided $197,243 in losses by selling in
advance of the announcement.

U.S. District Judge Colleen McMahon, who presided over the trial, will
determine  the  sanctions  to  be  imposed against the defendants. The
Commission  is  seeking  a  judgment  requiring  the defendants to pay
disgorgement  equal to their avoided losses plus penalties up to three
times  the  amount  of disgorgement, injunctions and, against Mitchell
Drucker, an officer and director bar.

Mitchell  Drucker,  age  38,  is  a resident of Saint James, New York.
Ronald Drucker, age 63 is a resident of Mount Sinai, New York.

The  Commission  charged  that  on  Oct.  18,  2001,  Mitchell Drucker
directed  the sale of his entire holdings of NBTY stock, consisting of
25,700  shares,  after  learning material, non-public information that
NBTY's  fourth  quarter  earnings  per  share  (EPS) would be about 50
percent  lower  than  analysts'  expectations.  The day after Mitchell
Drucker's  sales,  NBTY  publicly  announced, through a press release,
that  its  fourth  quarter  EPS  would  be  significantly  lower  than
analysts'  expectations. After NBTY's earnings news became public, the
price of NBTY shares fell by 41%. 

The  Commission  also  charged  that just after Mitchell Drucker began
selling  his  stock,  on  Oct.  18,  2001,  he  engaged in a series of
telephone calls with Ronald Drucker in which Mitchell Drucker conveyed
the  material  non-public  information regarding NBTY's fourth quarter
EPS  results.  As  a  result of this tip, Ronald Drucker also sold his
entire  holdings  of  NBTY stock, consisting of 10,000 shares, on Oct.
18,  2001.  Furthermore,  while  Mitchell  Drucker was placing his own
trades  on Oct. 18, 2001, he also directed the sale of the entire NBTY
holdings  of  his  friend,  relief  defendant  William  Minerva, which
consisted of 1,575 shares. 

By  trading  in advance of the public release of NBTY's fourth quarter
EPS,  Mitchell  Drucker, Ronald Drucker, and Minerva avoided losses of
$138,174, $51,116, and $7,953, respectively.

The  jury  found  that  defendants Mitchell Drucker and Ronald Drucker
each  violated Section 17(a) of the Securities Act of 1933 and Section
10(b)   of  the  Securities  Exchange  Act  of  1934  and  Rule  10b-5
thereunder. Judge McMahon will make the determination as to the relief
that  should  be  imposed against the defendants and relief defendant.
The  Commission  seeks  an  order permanently enjoining the defendants
from  violations  of  the  above  provisions of the federal securities
laws,  requiring  disgorgement  of  losses  avoided,  plus prejudgment
interest thereon, and imposing civil penalties pursuant to Section 21A
of  the  Exchange  Act.  The  Commission  also  seeks an order barring
Mitchell  Drucker  from  acting  as an officer or director of a public
company.     In  addition,  the  Commission  seeks  disgorgement  plus
prejudgment  interest  from  Minerva,  as  a relief defendant, for the
losses  Minerva  avoided  when  Mitchell  Drucker  sold Minerva's NBTY


In a complaint filed today in the U.S. District Court for the Northern
District  of  California,  the  SEC  alleged  that  from December 2002
through  August 2005, former Castro Valley, Calif., stockbroker Sidney
Mondschein  reaped  illegal  profits by secretly selling the names and
other  confidential  personal information of over 500 of his customers
to  six  different  insurance  agents.  According  to  the  complaint,
Mondschein  sold  this  information  as sales "leads" solely to enable
insurance  agents to solicit these customers, many of whom had already
purchased  fixed or equity-indexed annuity products, to buy additional
annuity products. 

The  complaint alleges that Mondschein never disclosed to any of these
customers  that  he intended to sell, and did sell, their confidential
personal  information to insurance agents, and further alleges that he
affirmatively  misled his clients as to the nature of his compensation
arrangements  and  relationships  with  the  various insurance agents.
According  to  the  complaint, virtually all of Mondschein's customers
were senior citizens. 

The   Commission's   complaint   alleges   that   Mondschein committed
securities  fraud  in violation of Section 10(b) of the Securities and
Exchange  Act  of 1934 and Exchange Act Rule 10b-5. The complaint also
alleges  that  Mondschein  aided  and abetted his broker-dealer firm's
violations  of  certain  of  the  customer  privacy  provisions of the
federal  securities  laws,  namely  Rules  4(a), 5(a), and 10(a)(1) of
Regulation   S-P.   The   Commission's   complaint   seeks  a judgment
permanently  enjoining  Mondschein  from violating these provisions of
the  securities  laws,  and ordering Mondschein to pay civil penalties
and  provide an accounting of, and disgorge, his ill-gotten gains with
prejudgment interest. The Commission also seeks a judgment that Relief
Defendant  UNCI  is in possession of illegally obtained funds to which
it  has no legitimate claim. [SEC v. Sidney Mondschein and UNCI, Inc.,
Civil Action No. C-07-6178 SI, (N.D. Cal.] (LR-20386)



The NASDQ Stock Market filed Amendment No. 2 to a proposed rule change
(SR-NASDAQ-2007-068)  to  amend the Limited Liability Agreement of The
NASDAQ  Stock  Market  LLC,  and  the  Commission  granted accelerated
approval  of the proposed rule change, as modified by Amendment Nos. 1
and 2. Publication is expected in the Federal Register during the week
of  December  10.  (Rel.  34-56876) 

The     Commission  granted  accelerated  approval  to  proposed  rule
changes  submitted by the American Stock Exchange  (SR-Amex-2007-124),
the   Boston   Stock   Exchange.(SR-BSE-2007-50),   the  Chicago Board
Options  Exchange  (SR-CBOE-2007-144),  the International  Securities 
Exchange  (SR-ISE-2007-108),  the  NYSE  Arca  (SR-NYSEArca-2007-116),
and  the  Philadelphia  Stock  Exchange  (SR-Phlx-2007-88) relating to
Linkage Orders. Publication is expected in the Federal Register during
the week of December 10. (Rel. 34-56898)


A  proposed  rule  change  filed by the NYSE Arca amending the closing
auction  time  for  ETFs  (SR-NYSEArca-2007-124)  has become effective
under  Section  19(b)(3)(A)  of  the  Securities Exchange Act of 1934.
Publication  is  expected  in  the Federal Register during the week of
December  10. (Rel. 34-56888) 

A  proposed  rule  change  filed  by  National Stock Exchange to amend
the  Exchange's  market  data  and  liquidity provider rebate programs
for   transactions  through  NSX  BLADE  (SR-NSX-2007-13)  has  become
effective pursuant to Section 19(b)(3)(A) of the Securities  Exchange 
Act   of  1934.  Publication  is  expected  in  the  Federal  Register
during the week of December 10. (Rel. 34-56890)

A  proposed rule change (SR-NYSE-2007-107) filed by the New York Stock
Exchange  to  the  Exchange's  NYSE BondsSM System and Trade Execution
Fees  has become effective under Section 19(b)(3)(A) of the Securities
Exchange  Act of 1934. Publication is expected in the Federal Register
during the week of December 10. (Rel. 34-56894)

A  proposed  rule change filed by the New York Stock Exchange relating
to  the NYSE Rule 98 Guidelines for Approved Persons Associated with a
Specialist's   Member   Organization   (SR-NYSE-2007-109)   has become
effective  pursuant  to Section 19(b)(3)(A) of the Securities Exchange
Act  of  1934.  Publication is expected in the Federal Register during
the week of December 10. (Rel. 34-56895)


The  NYSE  Arca.  filed  a proposed rule change (SR-NYSEArca-2007-120)
relating  to restrictions on acting as market makers and floor broker.
Publication  is  expected  in  the Federal Register during the week of
December 10. (Rel. 34-56899)


The  Commission  approved a proposed rule change (SR-CBOE-2007-68), as
modified  by  Amendment  No.  1,  filed  by  the Chicago Board Options
Exchange  relating  to stock-option orders. Publication is expected in
the Federal Register during the week of December 10. (Rel. 34-56903)



The  Commission  has  published  notice of summary effectiveness for a
period not to exceed 120 days of a joint amendment to the Plan for the
Purpose  of  Creating  and  Operating  an  Intermarket Options Linkage
submitted under Rule 608 of the Securities Exchange Act of 1934 by the
American  Stock Exchange, Boston Stock Exchange, Chicago Board Options
Exchange,   International   Securities   Exchange,   NYSE   Arca,  and
Philadelphia  Stock  Exchange  relating  to  response time for certain
orders  sent  through  the  Linkage.  Publication  is  expected in the
Federal Register during the week of December 10. (Rel. 34-56893)


The  following  registration  statements  have been filed with the SEC
under  the Securities Act of 1933. The reported information appears as
follows:  Form,  Name,  Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities   being  offered;  Name  of  the  managing  underwriter  or
depositor  (if  applicable);  File  number  and  date  filed; Assigned
Branch; and a designation if the statement is a New Issue. 

Registration statements may be obtained in person or by writing to the
Commission's     Public  Reference  Branch  at  100  F  Street,  N.E.,
Washington,  D.C.  20549-1090  or at the following e-mail box address:
publicinfo@sec.gov.  In most cases, this information is also available
on the Commission's website: www.sec.gov.

        51601, 712-246-2932 - 450,840 ($4,287,488.40) Equity, 
        (File 333-147831 - Dec. 5) (BR. 06C)

S-8     HAWK CORP, 200 PUBLIC SQ., STE 1500, CLEVELAND, OH, 44114, 2168613553 - 
        5,000,000 ($5,000,000.00) Other, (File 333-147832 - Dec. 5) (BR. 05B)

        5049261000 - 0 ($275,000,000.00) Non-Convertible Debt, 
        (File 333-147833 - Dec. 5) (BR. 11C)

        EC1A 7A5, 0114402073565000 - 0 ($0.00) Non-Convertible Debt, 
        (File 333-147834 - Dec. 5) (BR. 11B)

SB-2    Bright Screens, Inc., 10120 S. EASTERN AVENUE, SUITE 2, HENDERSON, NV, 
        89052, (702) 767-7001 - 340,000 ($34,000.00) Equity, (File 333-147835 - 
        Dec. 5) (BR. 11)

S-8     CastlePoint Holdings, Ltd., ATTN: JOEL WEINER, 
        CLARENDON HOUSE, 2 CHURCH STREET, HAMILTON, D0, HM 11, 4412951422 - 
        1,000,000 ($11,760,000.00) Equity, (File 333-147836 - Dec. 5) (BR. 01B)

        NY, 11932, 631-537-1600 - 1,000,000 ($35,000.00) Equity, 
        (File 333-147837 - Dec. 5) (BR. 09A)

        11210, 718-253-4455 - 1,201,000 ($120,100.00) Equity, 
        (File 333-147839 - Dec. 5) (BR. )

        646.673.8435 - 6,600,000 ($2,970,000.00) Equity, (File 333-147840 - 
        Dec. 5) (BR. 06C)

S-3     GERON CORP, 230 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6504737700 - 
        349,138 ($2,318,276.00) Other, (File 333-147841 - Dec. 5) (BR. 01A)

        TX, 77056, 713 355 7001 - 14,573,718 ($5,683,750.00) Equity, 
        (File 333-147842 - Dec. 5) (BR. 04C)

        866-851-7787 - 4,628,571 ($3,795,428.00) Equity, (File 333-147843 - 
        Dec. 5) (BR. 05C)

S-3     Cowen Group, Inc., 1221 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020, 
        646-562-1727 - 0 ($15,063,514.00) Equity, (File 333-147844 - Dec. 5) 
        (BR. 08C)

        972-850-0780 - 0 ($1,581,999.00) Equity, (File 333-147845 - Dec. 5) 
        (BR. 11A)

        6125043000 - 24,930,800 ($67,562,680.00) Equity, (File 333-147846 - 
        Dec. 5) (BR. 11C)

        858-558-4850 - 6,426,098 ($31,809,185.00) Equity, (File 333-147849 - 
        Dec. 5) (BR. 01C)

S-3     AKORN INC, 2500 MILLBROOK DRIVE, BUFFALO GROVE, IL, 60089, 8472796100 - 
        0 ($7,590,000.00) Equity, (File 333-147850 - Dec. 5) (BR. 01C)

SB-2    Flagship Global Health, Inc., 432 PARK AVENUE SOUTH, 13TH FLOOR, 
        NEW YORK, NY, 10016, 2123409111 - 0 ($5,757,044.22) Equity, 
        (File 333-147852 - Dec. 5) (BR. 09B)

S-3ASR  LEGG MASON INC, 100 LIGHT ST, BALTIMORE, MD, 21202-1476, 4105390000 - 
        0 ($0.00) Equity, (File 333-147853 - Dec. 5) (BR. 06A)


Form 8-K is used by companies to file current reports on the following
1.01	Entry into a Material Definitive Agreement		
1.02	Termination of a Material Definitive Agreement		
1.03	Bankruptcy or Receivership	
2.01	Completion of Acquisition or Disposition of Assets	
2.02	Results of Operations and Financial Condition	
2.03	Creation of a Direct Financial Obligation or an Obligation under an 
	Off-Balance Sheet Arrangement of a Registrant		
2.04	Triggering Events That Accelerate or Increase a Direct Financial Obligation 
	under an Off-Balance Sheet Arrangement		
2.05	Cost Associated with Exit or Disposal Activities		
2.06	Material Impairments		
3.01	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or 
	Standard; Transfer of Listing		
3.02	Unregistered Sales of Equity Securities		
3.03	Material Modifications to Rights of Security Holders		
4.01	Changes in Registrant's Certifying Accountant	
4.02	Non-Reliance on Previously Issued Financial Statements or a Related Audit
	Report or Completed Interim Review		
5.01	Changes in Control of Registrant	
5.02	Departure of Directors or Principal Officers; Election of Directors; 
	Appointment of Principal Officers	
5.03	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04	Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05	Amendments to the Registrant's Code of Ethics, or Waiver of a 
	Provision of the Code of Ethics	
6.01. 	ABS Informational and Computational Material.
6.02.  	Change of Servicer or Trustee.
6.03.  	Change in Credit Enhancement or Other External Support.
6.04. 	Failure to Make a Required Distribution.
6.05.  	Securities Act Updating Disclosure.
7.01	Regulation FD Disclosure	
8.01	Other Events	
9.01	Financial Statements and Exhibits	

8-K   reports  may  be  obtained  in  person  or  by  writing  to  the
Commission's     Public  Reference  Branch  at  100  F  Street,  N.E.,
Washington,  D.C.  20549-1090  or at the following e-mail box address:
publicinfo@sec.gov.  In most cases, this information is also available
on the Commission's website: www.sec.gov.

NAME OF ISSUER                         CODE   	 8K ITEM NO.	    	        DATE       COMMENT
AbitibiBowater Inc.                     DE       2.05,2.06,7.01,8.01,9.01       11/29/07

ACME COMMUNICATIONS INC                 DE       5.03,9.01                      11/29/07

ACTIVIDENTITY CORP                      DE       2.02,9.01                      12/05/07

ADOLOR CORP                                      1.01,8.01,9.01                 12/04/07

ADVANCED ENERGY INDUSTRIES INC          DE       5.03,9.01                      12/04/07

ADVANCED MEDICAL OPTICS INC             DE       5.02,7.01,9.01                 12/03/07

ADVANTA CORP                            DE       5.02                           11/29/07

ADVENT SOFTWARE INC /DE/                DE       5.05                           11/29/07

AFC ENTERPRISES INC                     MN       5.02,8.01,9.01                 11/29/07

AIRTRAN HOLDINGS INC                    NV       7.01,9.01                      12/04/07

ALBANY INTERNATIONAL CORP /DE/          DE       1.01,9.01                      12/01/07

ALLOY INC                               DE       2.02,9.01                      12/05/07

ALMOST FAMILY INC                       DE       1.01,9.01                      12/05/07

Alon USA Energy, Inc.                   DE       5.02                           12/03/07

ALTERA CORP                             DE       2.05,7.01,9.01                 12/05/07

AMECS INC                                        5.02,8.01                      12/05/07

AMERCO /NV/                             NV       5.03,9.01                      12/05/07

AMERICAN EXPRESS CO                     NY       7.01                           11/30/07

AMERICAN SURGICAL HOLDINGS INC          DE       4.02,9.01                      12/31/06    AMEND

AMERIGROUP CORP                                  1.01                           11/30/07

AMPAL-AMERICAN ISRAEL CORP              NY       1.01,2.01,2.03,8.01,9.01       12/05/07

ANADYS PHARMACEUTICALS INC                       5.03,9.01                      11/29/07

ANGELICA CORP /NEW/                     MO       2.02,9.01                      12/04/07

APPLEBEES INTERNATIONAL INC             DE       1.02,2.01,2.03,3.01,3.03,5.01, 11/29/07
APPLIED DNA SCIENCES INC                NV       1.01,2.03,3.02,9.01            11/29/07

ARBITRON INC                            DE       7.01,9.01                      12/05/07

ARENA RESOURCES INC                     NV       5.03,9.01                      11/30/07

ARROW ELECTRONICS INC                   NY       7.01,9.01                      12/03/07

ARTISTDIRECT INC                        DE       1.01,9.01                      11/30/07

ASIA TIME CORP                                   4.02                           11/19/07    AMEND

ASSURANCEAMERICA CORP                   NV       8.01,9.01                      12/05/07

AURELIO RESOURCE CORP                   NV       8.01,9.01                      12/05/07

AVI BIOPHARMA INC                       OR       8.01,9.01                      12/03/07

B2Digital, Inc.                         DE       4.02                           12/05/07

BANKATLANTIC BANCORP INC                FL       5.03,9.01                      12/04/07

BANKUNITED FINANCIAL CORP               FL       5.01,9.01                      11/29/07

BARRIER THERAPEUTICS INC                DE       5.03,9.01                      12/03/07

BBM HOLDINGS, INC.                      UT       5.03                           03/30/07    AMEND

BELO CORP                               DE       2.06,9.01                      12/03/07

BigString CORP                          DE       1.01,2.04,3.02,8.01,9.01       11/27/07

BIOLIFE SOLUTIONS INC                   DE       1.01,1.02,5.02                 12/04/07

BlueLinx Holdings Inc.                  DE       2.05,8.01,9.01                 11/29/07

BLUEPOINT LINUX SOFTWARE CORP           IN       4.01                           12/04/07

BLYTH INC                               DE       2.02                           12/05/07

BOMBAY CO INC                           DE       8.01,9.01                      11/26/07

BOOTS & COOTS INTERNATIONAL WELL CONT   DE       5.02                           12/03/07

BOSTON CAPITAL TAX CREDIT FUND III L    DE       7.01,9.01                      12/03/07

BOWATER INC                             DE       2.05,2.06,9.01                 11/29/07

BOWL AMERICA INC                        MD       5.02                           12/04/07

BOWNE & CO INC                          DE       8.01                           12/05/07

BOWNE & CO INC                          DE       8.01                           12/05/07

BRADLEY PHARMACEUTICALS INC             DE       8.01,9.01                      12/05/07

BRISTOL MYERS SQUIBB CO                 DE       5.02,9.01                      12/04/07

BRISTOL MYERS SQUIBB CO                 DE       8.01,9.01                      12/05/07

BSD MEDICAL CORP                        DE       7.01,9.01                      12/04/07

Camden Learning CORP                    DE       1.01,9.01                      12/05/07

CANADIAN DERIVATIVES CLEARING CORP      A6       9.01                           11/30/07

CARDICA INC                             DE       1.01,9.01                      12/03/07

CASEYS GENERAL STORES INC               IA       2.02,5.02,9.01                 12/05/07

CATCHER HOLDINGS, INC                            1.01,2.01,3.02,5.02,9.01       11/30/07

CATCHER HOLDINGS, INC                            7.01,9.01                      12/05/07

CATSKILL LITIGATION TRUST                        7.01,9.01                      12/04/07

CENTENNIAL COMMUNICATIONS CORP /DE      DE       5.02,5.03,9.01                 12/05/07

Centerplate, Inc.                       DE       8.01,9.01                      12/03/07

CEPHALON INC                            DE       8.01,9.01                      12/03/07

CERADYNE INC                            DE       7.01,9.01                      11/30/07

CHDT CORP                               FL       1.01                           12/03/07

CHEMBIO DIAGNOSTICS, INC.               NV       7.01                           12/05/07

Chemtura CORP                           DE       5.02,9.01                      12/04/07

CHINA BAK BATTERY INC                   NV       5.03,9.01                      11/30/07

CHINA LONGYI GROUP INTERNATIONAL HOLD   NY       1.01,2.01,3.02,5.01,5.02,5.03, 11/12/07    AMEND

CITIGROUP DIVERSIFIED FUTURES FUND LP            3.02                           12/01/07

CITIGROUP FAIRFIELD FUTURES FUND LP I            3.02                           12/01/07

CITIGROUP INC                           DE       8.01,9.01                      12/05/07

CITRIX SYSTEMS INC                      DE       2.01,9.01                      10/19/07    AMEND

CLEAR CHANNEL COMMUNICATIONS INC        TX       5.03,8.01,9.01                 12/04/07

CLEARWIRE CORP                                   8.01                           12/05/07

CLEVELAND BIOLABS INC                   DE       5.03,9.01                      12/04/07

CNL INCOME PROPERTIES INC               MD       2.01,5.03,9.01                 11/30/07

COACHMEN INDUSTRIES INC                 IN       7.01,9.01                      12/04/07

COINSTAR INC                            DE       7.01                           10/01/07

Command Center, Inc.                    WA       3.02,7.01,9.01                 11/30/07

Commerce Planet                         UT       8.01                           12/01/07

COMPUTER SOFTWARE INNOVATIONS INC                7.01,9.01                      12/04/07

COMTECH TELECOMMUNICATIONS CORP /DE/    DE       2.02,9.01                      12/05/07

CONAGRA FOODS INC /DE/                  DE       2.02,9.01                      12/05/07

Copano Energy, L.L.C.                   DE       7.01,9.01                      12/04/07

COPART INC                              CA       2.02,9.01                      12/04/07

CORE BOND PRODUCTS LLC                  DE       8.01,9.01                      11/30/07

CORTS TRUST FOR INTL BUSINESS MACHINE   DE       8.01,9.01                      12/03/07

CV THERAPEUTICS INC                     DE       8.01                           12/03/07

CVR ENERGY INC                          DE       2.02,9.01                      12/05/07

Dairy Fresh Farms Inc.                           5.02,9.01                      12/04/07

Deutsche Alt-A Securities Mortgage Lo   DE       8.01,9.01                      12/05/07

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01                           12/05/07

DIGIMARC CORP                           DE       7.01,8.01,9.01                 12/05/07

DIGIMARC CORP                           DE       7.01,9.01                      12/05/07    AMEND

DIGITAL IMAGING RESOURCES INC.          DE       1.01,5.03,9.01                 11/28/07

DigitalFX International Inc             FL       1.01,3.02                      12/03/07

DIGUANG INTERNATIONAL DEVELOPMENT CO.   NV       2.02,9.01                      12/05/07

DISTRIBUTED ENERGY SYSTEMS CORP         DE       5.02,7.01,9.01                 11/29/07

DOUBLE EAGLE PETROLEUM CO               MD       7.01,9.01                      12/03/07

DRI CORP                                NC       7.01,9.01                      12/05/07

DSW Inc.                                OH       2.02,9.01                      12/05/07

DYNAMEX INC                             DE       7.01,9.01                      12/05/07

EAGLE BANCORP INC                       MD       1.01,7.01,9.01                 12/02/07    AMEND

EDGAR ONLINE INC                        DE       8.01,9.01                      12/04/07

Edgeline Holdings, Inc.                 NV       1.01,9.01                      11/30/07

EMVELCO CORP.                           DE       8.01,9.01                      11/26/07

ENDURANCE SPECIALTY HOLDINGS LTD                 8.01,9.01                      12/03/07

ENTERCOM COMMUNICATIONS CORP            PA       2.01,2.03,7.01                 11/30/07

ENTERGY GULF STATES INC                 TX       3.02,5.03,9.01                 11/29/07

EPICEPT CORP                                     1.01,8.01,9.01                 12/04/07

EPICOR SOFTWARE CORP                    DE       5.02,9.01                      11/29/07

EPL Intermediate, Inc.                  DE       8.01,9.01                      12/03/07

ESCALON MEDICAL CORP                    PA       5.03,9.01                      11/30/07

EXACTECH INC                            FL       5.02,5.03,7.01,9.01            11/29/07

EXCO RESOURCES INC                      TX       7.01,9.01                      12/05/07

EXCO RESOURCES INC                      TX       5.02                           12/01/07

EXOPACK HOLDING CORP                             8.01,9.01                      11/28/07

EXPRESS SCRIPTS INC                     DE       7.01                           12/04/06

FBL FINANCIAL GROUP INC                 IA       5.02                           12/05/07

Federal Home Loan Bank of Dallas                 5.02                           11/29/07

FEDERAL NATIONAL MORTGAGE ASSOCIATION            7.01,9.01                      12/05/07

FINISAR CORP                            DE       2.02,9.01                      12/05/07

FIRST ALBANY COMPANIES INC              NY       5.02,9.01                      12/04/07

FIRST CITIZENS BANC CORP /OH            OH       8.01                           12/05/07

FIRSTPLUS FINANCIAL GROUP INC           NV       1.02                           11/30/07

Fitmedia Inc.                           DE       8.01                           12/03/07

FNB BANCORP/CA/                                  8.01,9.01                      12/05/07

FORTUNE BRANDS INC                      DE       5.02,9.01                      12/05/07

FORWARD INDUSTRIES INC                  NY       5.03,9.01                      11/29/07

FREEDOM BANCSHARES INC                           5.02                           11/30/07

FREEDOM TAX CREDIT PLUS LP              DE       8.01,9.01                      12/05/07

FREEPORT MCMORAN COPPER & GOLD INC      DE       7.01,8.01,9.01                 12/04/07

G III APPAREL GROUP LTD /DE/            DE       2.02,9.01                      12/05/07

GAMCO INVESTORS, INC. ET AL             NY       8.01                           11/30/07

GENAERA CORP                            DE       1.01,5.02,5.03,9.01            11/29/07

GENERAL DYNAMICS CORP                   DE       5.02,9.01                      12/05/07

GENERAL ELECTRIC CO                     NY       8.01,9.01                      11/29/07

General Moly, Inc                       ID       7.01,9.01                      12/03/07

GENERAL STEEL HOLDINGS INC              NV       7.01,9.01                      12/05/07

GENEREX BIOTECHNOLOGY CORP              DE       5.03,9.01                      12/03/07

GENESEE & WYOMING INC                   DE       8.01                           12/03/07

GENESIS BIOVENTURES INC                 NY       4.02                           03/30/07    AMEND

GENESIS ENERGY LP                       DE       8.01,9.01                      12/04/07

GEODYNE ENERGY INCOME LTD PARTNERSHIP   OK       2.01,9.01                      11/15/07    AMEND

GEODYNE ENERGY INCOME LTD PARTNERSHIP   OK       2.01,9.01                      11/15/07    AMEND

GEOGLOBAL RESOURCES INC.                DE       7.01,9.01                      12/05/07

GEOVIC MINING CORP.                     DE       8.01,9.01                      12/05/07

GLIMCHER REALTY TRUST                   MD       1.01,2.03                      11/30/07

GLOBAL ENTERTAINMENT CORP               NV       5.02                           10/15/07

GLOBAL GOLD CORP                        DE       8.01                           12/05/07

Global Telecom & Technology, Inc.       DE       5.02,9.01                      12/01/07

GLU MOBILE INC                                   5.02                           11/29/07

GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       3.02                           12/05/07

GPS INDUSTRIES, INC.                    NV       5.02,8.01,9.01                 11/29/07

GRACO INC                               MN       5.02                           11/29/07

GRAPHIC PACKAGING CORP                  DE       1.01,9.01                      11/29/07

GREAT WEST GOLD, INC.                   WY       8.01,9.01                      12/05/07

GYMBOREE CORP                           DE       7.01                           12/05/07

GYRODYNE CO OF AMERICA INC              NY       7.01,9.01                      12/05/07

HARRIS CORP /DE/                        DE       1.01,2.03,9.01                 11/30/07

HEALTH CARE REIT INC /DE/               DE       7.01,8.01,9.01                 12/03/07

HEARTLAND FINANCIAL USA INC             DE       8.01,9.01                      12/05/07

HELICOS BIOSCIENCES CORP                         5.02,9.01                      10/30/07    AMEND

HERCULES OFFSHORE, INC.                 DE       7.01,9.01                      12/05/07

HERSHEY CO                              DE       5.02                           11/29/07

HOKU SCIENTIFIC INC                     DE       8.01,9.01                      12/05/07

HOLOGIC INC                             DE       8.01,9.01                      12/05/07

HOMELAND ENERGY SOLUTIONS LLC                    1.01                           11/29/07

HOOKER FURNITURE CORP                   VA       2.02                           12/05/07

HSI Asset Loan Obligation Trust 2007-            8.01,9.01                      12/03/07    AMEND

I TRAX INC                              DE       4.01,9.01                      12/03/07

ICAHN ENTERPRISES L.P.                  DE       8.01,9.01                      12/05/07

ICAHN ENTERPRISES L.P.                  DE       9.01                           12/05/07

ICAHN ENTERPRISES L.P.                  DE       9.01                           12/05/07

IHOP CORP                               DE       2.01,2.03,3.02,3.03,5.03,8.01, 11/29/07
IKON OFFICE SOLUTIONS INC               OH       1.01,9.01                      12/04/07

IMMEDIATEK INC                          NV       1.01,9.01                      11/30/07

INFORM WORLDWIDE HOLDINGS INC           FL       1.01,2.03                      08/31/07

INSTEEL INDUSTRIES INC                  NC       8.01,9.01                      12/04/07

INTEGRITY BANCSHARES INC                GA       5.02,5.03,9.01                 11/30/07

InterDigital, Inc.                      PA       8.01,9.01                      12/03/07

INTERNATIONAL SPEEDWAY CORP             FL       1.02                           11/27/07

INTERNATIONAL SPEEDWAY CORP             FL       5.02                           11/28/07

INTERSTATE BAKERIES CORP/DE/            DE       7.01,9.01                      12/04/07

INX Inc                                 DE       8.01,9.01                      12/04/07

IXI Mobile, Inc.                        DE       7.01,9.01                      12/04/07

J P MORGAN CHASE & CO                   DE       9.01                           12/04/07

JACLYN INC                              DE       8.01,9.01                      12/05/07

JONES SODA CO                           WA       5.02,9.01                      12/04/07

Juma Technology Corp.                            1.01,2.03,3.02,5.02,8.01,9.01  12/05/07

KATY INDUSTRIES INC                     DE       1.01,2.01,2.03,9.01            12/05/07

KAYNE ANDERSON ENERGY DEVELOPMENT CO    MD       5.02,9.01                      12/03/07

KBS Real Estate Investment Trust, Inc   MD       1.01,2.01,2.03,9.01            11/29/07

KENNAMETAL INC                          PA       8.01,9.01                      12/02/07

KILROY REALTY CORP                      MD       5.02                           12/04/07

KINETIC CONCEPTS INC /TX/               TX       5.02,9.01                      11/29/07

KING PHARMACEUTICALS INC                TN       1.01,5.02,8.01,9.01            11/29/07

KODIAK ENERGY, INC.                     DE       5.02,9.01                      12/03/07

KULICKE & SOFFA INDUSTRIES INC          PA       5.03,9.01                      11/29/07

LACLEDE GROUP INC                       MO       5.02                           11/29/07

LAKESIDE MORTGAGE FUND LLC              CA       5.02                           12/01/07

LCC INTERNATIONAL INC                   DE       1.01,5.02,9.01                 11/29/07

LEE ENTERPRISES, INC                    DE       8.01,9.01                      12/04/07

Legacy Bancorp, Inc.                    DE       7.01,9.01                      12/05/07

LEHMAN BROTHERS HOLDINGS INC            DE       9.01                           11/30/07

LITHIUM TECHNOLOGY CORP                 DE       8.01,9.01                      12/05/07

Location Based Technologies, Inc.       NV       1.01,3.02,7.01,9.01            11/30/07

LORAL SPACE & COMMUNICATIONS INC.       DE       5.02                           11/30/07

Lotus Pharmaceuticals, Inc.                      7.01,9.01                      12/05/07

LOUISIANA-PACIFIC CORP                  DE       5.02,9.01                      11/30/07

LSB INDUSTRIES INC                      DE       8.01                           09/24/07

LTC PROPERTIES INC                      MD       5.02,9.01                      12/05/07

MACERICH CO                             MD       8.01                           11/26/07

MAGNITUDE INFORMATION SYSTEMS INC       DE       1.01,9.01                      12/03/07

MAGSTAR TECHNOLOGIES INC                MN       5.02                           12/05/07

Mayflower Bancorp Inc                   MA       2.02,9.01                      12/04/07

MCGRAW-HILL COMPANIES INC               NY       5.02,9.01                      12/05/07

MDwerks, Inc.                           DE       1.01,9.01                      12/03/07

MedAire, Inc.                           NV       8.01                           12/05/07

MEDCATH CORP                            DE       2.01,9.01                      11/30/07

MEDQUIST INC                            NJ       2.05,9.01                      12/03/07

MEREDITH CORP                           IA       8.01,9.01                      12/05/07

MERRILL LYNCH & CO INC                  DE       8.01,9.01                      12/05/07

METLIFE INC                             DE       8.01                           12/05/07

MICROSOFT CORP                          WA       8.01,9.01                      10/25/07

MISCOR GROUP, LTD.                               1.01,2.01,3.02,3.03,5.01,8.01, 11/30/07
ML-CFC Commercial Mortgage Trust 2007   DE       6.02                           11/30/07

MORGAN STANLEY                          DE       5.02,9.01                      11/29/07

Morgan Stanley Mortgage Loan Trust 20   DE       1.01                           11/30/07

MORGAN STANLEY SPECTRUM CURRENCY LP     DE       1.01,9.01                      11/28/07

MOTORCAR PARTS  AMERICA INC             NY       4.01,9.01                      11/30/07

MULTIMEDIA GAMES INC                    TX       8.01                           12/04/07

MYERS INDUSTRIES INC                    OH       8.01,9.01                      11/30/07

MYRIAD GENETICS INC                     DE       8.01,9.01                      12/04/07

NANOBAC PHARMACEUTICALS INC             FL       4.01,9.01                      10/10/07    AMEND

NATIONAL REALTY & MORTGAGE INC          NV       5.02                           11/30/07

NATIONWIDE FINANCIAL SERVICES INC/      DE       5.02                           12/05/07

Naugatuck Valley Financial Corp         X1       5.02                           11/27/07

NB Manufacturing, Inc.                           5.03                           12/04/07

Neiman Marcus, Inc.                     DE       2.02,9.01                      12/05/07

Neiman Marcus, Inc.                     DE       2.02,7.01                      12/05/07

NETWORK APPLIANCE INC                   CA       1.01,2.03                      11/29/07

NEUROBIOLOGICAL TECHNOLOGIES INC /CA/   DE       1.01,9.01                      11/29/07

Neutral Tandem Inc                               2.02,7.01,9.01                 12/05/07

NEWALLIANCE BANCSHARES INC                       7.01,9.01                      12/05/07

Nitar Tech Corp.                        DE       5.02                           12/03/07

NOBLE CORP                                       7.01,9.01                      12/05/07

NOBLE ENERGY INC                        DE       5.02                           10/23/07    AMEND

NORTH POINTE HOLDINGS CORP                       7.01,9.01                      12/05/07

NORTHEAST BANCORP /ME/                  ME       2.01                           11/30/07

NOVASTAR FINANCIAL INC                  MD       1.01,9.01                      11/30/07

NOVELL INC                              DE       7.01,9.01                      10/31/07

NOVELL INC                              DE       7.01                           10/31/07    AMEND

NYER MEDICAL GROUP INC                  FL       1.01                           11/30/07

OIL DRI CORP OF AMERICA                 DE       8.01,9.01                      12/04/07

Oilsands Quest Inc                               1.01,8.01,9.01                 12/05/07

OMNICELL, Inc                           CA       1.01,9.01                      11/29/07

Omniture, Inc.                          DE       8.01,9.01                      12/05/07

Opko Health, Inc.                       DE       1.01,3.02,9.01                 12/04/07

OPLINK COMMUNICATIONS INC               DE       2.05,2.06                      11/29/07

Oracle Healthcare Acquisition Corp.              8.01,9.01                      12/04/07

Orange REIT, Inc.                       MD       5.02                           11/20/07

ORASURE TECHNOLOGIES INC                DE       1.01                           11/30/07

Orbitz Worldwide, Inc.                  DE       5.03,9.01                      12/04/07

PANERA BREAD CO                         DE       7.01,9.01                      12/05/07

PANTHER MOUNTAIN WATER PARK INC /DE/    DE       1.01,2.01,3.03,5.01,5.02,5.06, 11/15/07
PARALLEL PETROLEUM CORP                 DE       1.01,8.01,9.01                 12/03/07

PATRIOT TAX CREDIT PROPERTIES LP        DE       8.01,9.01                      12/05/07

PENN VIRGINIA CORP                      VA       1.01,2.03,3.02,9.01            11/29/07

PERFORMANCE CAPITAL MANAGEMENT LLC      CA       2.03                           11/30/07

PHOTRONICS INC                          CT       2.02,9.01                      12/04/07

PLAINS ALL AMERICAN PIPELINE LP         DE       7.01                           12/05/07

PLANETLINK COMMUNICATIONS INC           GA       2.01,3.02,5.01,5.02,9.01       11/27/07

PLAYERS NETWORK                                  1.01,3.02,9.01                 12/03/07

POINT BLANK SOLUTIONS, INC.             DE       8.01                           12/05/07

Powerraise Inc                          NV       1.01,9.01                      12/03/07

PRICELINE COM INC                       DE       7.01,9.01                      12/05/07

PRICELINE COM INC                       DE       5.02,9.01                      12/01/07

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           12/05/07

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           12/05/07

PRINCIPAL LIFE INSURANCE CO             IA       9.01                           12/05/07

PRIVATEBANCORP, INC                     DE       5.02                           11/29/07

PRO DEX INC                             CO       5.03,9.01                      12/04/07

PROCERA NETWORKS INC                    NV       5.02                           11/02/07

PROFESSIONAL VETERINARY PRODUCTS LTD    NE       4.01,9.01                      05/18/07    AMEND

Protalix BioTherapeutics, Inc.          FL       5.02                           12/03/07

PRUDENTIAL FINANCIAL INC                NJ       2.03                           12/05/07

PUBLIC SERVICE CO OF COLORADO           CO       4.02                           12/04/07

PYRAMID BREWERIES INC                   WA       5.02                           11/29/07

QUANEX CORP                             DE       2.02                           12/04/07

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       7.01,9.01                      12/05/07

RADIOSHACK CORP                         DE       1.01,5.02                      12/05/07

RAM ENERGY RESOURCES INC                DE       1.01,2.01,2.03,3.02,8.01,9.01  11/29/07

REDDY ICE HOLDINGS INC                  DE       5.02,9.01                      11/30/07

REDHOOK ALE BREWERY INC                 WA       5.03,9.01                      11/30/07

REDWOOD TRUST INC                       MD       8.01                           11/29/07

RESOURCING SOLUTIONS GROUP INC          NV       5.03,9.01                      12/04/07

RFMSI Series 2007-S9 Trust              DE       8.01,9.01                      12/05/07

ROYAL GOLD INC                          DE       8.01,9.01                      12/05/07

RUBICON FINANCIAL INC                   DE       9.01                           11/29/07

Ruths Chris Steak House, Inc.           DE       7.01                           12/04/07

SALISBURY BANCORP INC                   CT       8.01,9.01                      12/04/07

SALOMON SMITH BARNEY AAA ENERGY FUND             3.02                           12/01/07

SALOMON SMITH BARNEY ORION FUTURES FU            3.02                           12/01/07

SANDRIDGE ENERGY INC                    DE       2.02,9.01                      12/05/07

SARATOGA RESOURCES INC /TX              TX       3.02                           12/04/07

SCIELE PHARMA, INC.                     DE       5.02,9.01                      12/04/07

SCIENTIFIC INDUSTRIES INC               DE       5.03                           11/29/07

SCOLR Pharma, Inc.                      DE       8.01                           12/04/07

SEACOR HOLDINGS INC /NEW/               DE       7.01,9.01                      12/03/07

SEAGATE TECHNOLOGY                      E9       5.02                           12/03/07

Security Capital Assurance Ltd          D0       1.01,9.01                      11/30/07

Select Notes Trust LT 2004-1            DE       8.01,9.01                      12/03/07

SELIGMAN NEW TECHNOLOGIES FUND, INC              7.01                           12/05/07

SENESCO TECHNOLOGIES INC                DE       8.01,9.01                      12/05/07

Shire plc                                        8.01,9.01                      12/05/07

SILICON STORAGE TECHNOLOGY INC          CA       5.02                           12/05/07

SMARTIRE SYSTEMS INC                             1.01,2.03,3.02                 11/19/07

SMITH & WESSON HOLDING CORP             NV       5.03,9.01                      11/29/07

SMITH BARNEY BRISTOL ENERGY FUND LP              3.02                           12/01/07

SMITH BARNEY POTOMAC FUTURES FUND LP             3.02                           12/01/07

SMITH BARNEY TIDEWATER FUTURES FUND L            3.02                           12/01/07

SMITH BARNEY WARRINGTON FUND L P                 3.02                           12/01/07

SMITH BARNEY WESTPORT FUTURES FUND LP            3.02                           12/01/07

SMUCKER J M CO                          OH       7.01,9.01                      12/05/07

SOLUTIA INC                             DE       1.03,7.01,9.01                 11/29/07

SOUTHWESTERN PUBLIC SERVICE CO          NM       8.01                           12/03/07

ST. BERNARD SOFTWARE, INC.              CA       4.01                           12/04/07

ST. BERNARD SOFTWARE, INC.              CA       4.01,9.01                      11/19/07    AMEND

StatSure Diagnostic Systems, Inc.       DE       9.01                           10/22/07    AMEND

STERLING BANCORP                        NY       7.01,9.01                      12/03/07

STRATASYS INC                           DE       7.01,9.01                      12/05/07

Stratos Renewables CORP                          1.01,3.01,9.01                 11/26/07

STRATTEC SECURITY CORP                  WI       2.02,7.01                      12/05/07

STUDIO ONE MEDIA, INC.                  DE       8.01                           12/04/07

SUMMIT EXPLORATION INC.                          8.01,9.01                      12/03/07

SUNAIR SERVICES CORP                    FL       5.02                           11/30/07

Superior Offshore International Inc.    DE       8.01,9.01                      11/30/07

SUTRON CORP                             VA       5.03,9.01                      11/30/07

SYNOVIS LIFE TECHNOLOGIES  INC          MN       2.02,9.01                      12/05/07

TASKER PRODUCTS CORP                    DE       2.03,3.02                      09/28/07    AMEND

TECHNOLOGY FUNDING PARTNERS III L P     DE       2.01                           12/05/07

TECHNOLOGY FUNDING VENTURE PARTNERS I   DE       2.01                           12/05/07

TECO ENERGY INC                         FL       8.01,9.01                      12/05/07

Tennessee Valley Authority                       2.02,5.02,9.01                 12/05/07

TESORO CORP /NEW/                       DE       7.01,9.01                      12/05/07

THERAVANCE INC                          DE       7.01,9.01                      12/05/07

TIMBERLAND CO                           DE       5.02                           11/30/07

TIVO INC                                DE       8.01                           11/29/07

TransMontaigne Partners L.P.            DE       7.01,9.01                      12/05/07

TRANSOCEAN INC                          E9       1.01,2.03,8.01,9.01            12/03/07

Tropicana Entertainment, LLC            DE       8.01,9.01                      12/05/07

U S GOLD CORP                           CO       5.02,7.01,9.01                 11/30/07

U S PHYSICAL THERAPY INC /NV            NV       7.01                           12/05/07

UNICA CORP                                       5.02                           12/03/07

UNITED THERAPEUTICS CORP                DE       8.01,9.01                      12/05/07

UNIVERSAL ENERGY CORP.                           1.01,9.01                      11/29/07

US AIRWAYS GROUP INC                    DE       2.02,9.01                      12/05/07

US BioEnergy CORP                                1.01,8.01,9.01                 11/29/07

US Oncology Holdings, Inc.              DE       5.02,9.01                      12/05/07

VALIDUS HOLDINGS LTD                             2.02,7.01,9.01                 12/04/07

VERASUN ENERGY CORP                              1.01,8.01,9.01                 11/29/07

Veraz Networks, Inc.                    DE       5.02,9.01                      11/29/07

VERISIGN INC/CA                         DE       1.01,5.02                      12/01/07

VIAD CORP                               DE       1.01,5.02,9.01                 11/29/07

VION PHARMACEUTICALS INC                DE       8.01,9.01                      12/04/07

VISUAL MANAGEMENT SYSTEMS INC           NV       1.01,2.03,9.01                 11/29/07

VITESSE SEMICONDUCTOR CORP              DE       8.01,9.01                      12/03/07

VOIP INC                                         5.02                           12/04/07

WALT DISNEY CO/                         DE       8.01,9.01                      11/29/07    AMEND

Wells Fargo Mortgage Backed Securitie   DE       1.01,9.01                      12/04/07

WELLS REAL ESTATE FUND IX LP            GA       2.01,9.01                      11/29/07

WELLS REAL ESTATE FUND VIII LP          GA       2.01,9.01                      11/29/07

WERNER ENTERPRISES INC                  NE       5.02,9.01                      12/03/07

WESTERN DIGITAL CORP                    DE       7.01,8.01                      12/05/07

WESTMORELAND COAL CO                    DE       8.01,9.01                      12/05/07

WET SEAL INC                            DE       7.01,9.01                      11/30/07

WHERIFY WIRELESS INC                    DE       1.01                           11/29/07

WHITNEY INFORMATION NETWORK INC         CO       5.02                           11/29/07

WPCS INTERNATIONAL INC                  DE       1.02,2.01,9.01                 11/30/07

Wright Express CORP                              1.01,9.01                      12/03/07

XCEL ENERGY INC                         MN       4.02                           12/04/07

XCEL ENERGY INC                         MN       2.02,9.01                      12/05/07

XILINX INC                              DE       7.01,9.01                      12/05/07

Zumiez Inc                                       7.01,9.01                      12/05/07




Modified: 12/06/2007